RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
S•••• H•••• A•••••••
- C••••••• P••••••• independent RIA currentsince Dec 19, 2021 · Trophy Club, Tx
- L•••••• I••••••••• A•••••••• L•• no RAUMMar 5, 2012 to Dec 31, 2021 · Dallas, Tx
- S•••••••• A••••••• L•• national BDFeb 24, 2004 to Mar 2, 2009 · Westlake, Tx
- L•••••• I••••••••• A•••••••• L•• to C••••••• P•••••••left Dec 31, 2021, registered Dec 19, 2021 (-12 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to L•••••• I••••••••• A•••••••• L••left Mar 2, 2009, registered Mar 5, 2012 (1099 days) · Affiliated broker-dealer or bank to a newly registered adviser
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address